Transcript Federal Transit Administration Region V

Federal Transit
Administration
Region V
Michigan Public
Transportation Association
Meeting
August 17-20
FTA Grant & Program Oversight
Agenda
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Introductions & Purpose -Marisol Simon
Civil Rights – Eric Allen
Grant Process – Angelica Salgado
Program Management – Sharletha Johnson
Contact information
General Q & A
Marisol R. Simón
Regional Administrator
Cecelia Comito
Dwight Sinks
Erick Allen
Regional Counsel
Regional Civil Rights Officers
Renee Berger
Paralegal
Rhonda Reed
Deputy Regional Administrator
Recovery Staff
Kimberly Barnes
Administrative Officer
Vacant
Administrative Staff Assistant
Stephen Polito
Director
Office of Planning & Program Development
Vanessa Adams
Reginald Arkell, AICP
R. Stewart McKenzie, AICP
David Werner
William Wheeler
Community Planners
Andrew Minyo
Transportation Representatives
Angelica Salgado
Joyce Taylor
Felisha Phillips
Transportation Program Specialists
Latonya Mickens
Administrative Program Assistant
Rotimi Ogunsuyi
Athena Medero, P.E., LEED AP
General Engineers
Mary Campbell
Susan Weber, AICP
Transportation Program Specialists
Lois Kimmelman, LEED AP
Environmental Protection Specialist
Dominick Gatto, P.E.
Director
Office of Program Management & Oversight
Melody Hopson, P.E.
Sharletha Johnson, P.E.
Duana Love, P.E.
Cyrell McLemore
General Engineers
Derek Davis
Lisa Joiner
Nichole Neal Nolan
Transportation Program Specialists
FTA Civil Rights Program
Overview
Erick Allen
JOHN, PAUL, RINGO &
GEORGE of Civil Rights
•EEO
•ADA
•Title VI
•DBE
DOT / FTA Civil Rights Guidelines
/ Regulations
• EEO / UMTA C Circular 4704.1
• Title VI / Circular 4702.1A
• DBE / 49 CFR Part 26
• ADA / Part !!, Americans with
Disabilities Act
Formal Civil Rights Reviews
• Preliminary Grant Review
• Final Grant Review
• State Management Review
• Triennial Review
• Civil Rights Compliance Review
EEO in Transit
Who?
• 50 or more transit-related employees, and;
• $1,000,000.00 Capital / Operating assistance
or;
• $250,000.00 planning assistance
WHAT?
• Develop EEO Plan
• Submitted to FTA every 3 years
EEO Plan Components
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Statement of Policy
Dissemination
Designation of Personnel Responsibility
Utilization Analysis
Goals and Timetables
Assessment of Employment Practices
Monitoring and Reporting
ADA in Transit
KEY AREAS
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Reasonable Modifications
Maintenance of Accessible Features
Comparable Para transit Service
Title VI in Transit
• Any entity receiving Federal financial
assistance
• Recipients enter into a relationship with the
Federal government akin to contract
• Primary recipients and sub recipients must
comply with Title VI
Title VI in Transit
TWO TYPES of DISCRIMINATION
• Disparate Treatment = Intentional
Discrimination
• Disparate Impact = Unintentional
Discrimination.
Guidelines for All Recipients and
Sub recipients
• Investigate complaints
• Record complaints, investigations, and
lawsuits
• Provide meaningful access to LEP participants
• Inform the public
• Include EJ analysis in NEPA documentation
• Conduct inclusive public involvement
• Submit a Title VI report to FTA or to direct
recipient
KEY TITLE VI PLAN
COMPONENTS
• Limited English Proficiency (LEP)
Program
– 4 Factor Analysis
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Number or proportion of LEP’s
Frequency of contact
Nature & importance of program
Cost
• Environmental Justice Report
– Analyze project impact on predominately
minority and low income communities
DBE Program Overview
DBE Program
Goal Setting and
Semi-Annual
Reporting
Good-Faith Efforts
by Recipients and
Contractors
Certification of
Firms Eligible for
the Program
DBE Program Overview
• New Tri Annual DBE Goal Setting Requirement
• Goals Due;
– Group A – August 1, 2010
– Group B – August 1, 2011
– Group C – August 1, 2012
Current goals remain effective until new due date
New goals will be effective for three (3) years
FTA TEAM GRANT DEVELOPMENT
Angelica Salgado
Federal Transit Administration, Region 5
August 17-20, 2010
Michigan PUBLIC TRANSIT CONFERENCE
Bellaire, Michigan
May 17-20, 2010
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GRANT DEVELOPMENT – Flow Chart
Send to
DOL
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GRANT DEVELOPMENT
FTA Processing
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Preliminary Review
Transit agency requests FTA review grant in TEAM
FTA reviews grant and enters comments in TEAM.
Transit agency makes revisions.
Repeat as necessary.
• FTA grant rep. initiates internal preliminary review (~1 week).
– Civil Rights
– Paralegal/Legal
– Project Management & Oversight
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FTA asks transit agency to submit grant.
Click on Submit Application under the Applications heading.
FTA notifies U.S. Department of Labor (DOL) to review grant.
DOL certifies within ~ 30 days.
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GRANT DEVELOPMENT
FTA Processing
Final Review
● FTA goal to award grant within 36 days of formal submission
(non earmarks).
● Concurrence:
● Grant Representative
● PMO Representative
● Planning Director
● Civil Rights
● Paralegal
● Regional Counsel
● Funds Reservation Staff
● Regional Administrator
- Forward talking points to HQ for earmarks
- Award !!
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Grant Development
Part 1:
• Ensure that all Grantee recipient information is
current.
Part 2:
• Ensure that all information has been updated
in the following areas:
• Start/End Date
• Program Date
• Pre-Award Authority
• Congressional Districts
GRANT DEVELOPMENT
PROJECT DESCRIPTION/DETAILS – VERY IMPORTANT!!!
• Concise general summary of what is occurring
• Enter in Project Description/Details box of Part 2: Project Information section
• Include:
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Agency name & location
Section of funding
Total amount of federal funds
Year of funds
Dates of project
• Example: This grant to Kalamazoo Metro Transit, in Kalamazoo, MI is for Section
5307 FY2010 funds in the amount of $2,968,200 for capital, planning and
operating expenses for the period May 2010 through June 2011.”
• Other information to include if applicable:
– Toll Revenue Credit amount/Reference to attached MIDOT approval letter
– Construction: “FTA Region 5 approved the project as a categorical exclusion pursuant to
correspondence dated June 24, 2008. The Michigan Historic Preservation Office
concurred with a finding of no significant impact to archaeological and cultural resources
pursuant to correspondence dated November 20, 2007.”
• Amendments:
– Retain original description and label as ORIGINAL GRANT.
– Insert new description at top and label as AMENDMENT ONE.
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Grant Development
• Part 3
• Include the Budget and ensure that you have
included a Scope for each ALI
• Include Quantity, FTA amount and Total
Project Cost
• Include an extended budget description for
each ALI
Grant Development
• Ensure that you include Alternative Fuel codes
for vehicles
• Part 4
Update Milestone and ensure that for each
milestones you include at least two entries
(initial date and completed date)
• Part 5
Include an environmental finding for each ALI
• Part 6
Include a Fleet status if the grant involves
procurement of vehicles
Planning Documentation
All grants must attach the following
information in TEAM to demonstrate
compliance with the planning requirements:
• FTA Approval Letter
• Letter from State DOT
• TIP/STIP Table
TIP/STIP Details
• Projects must be in current year of TIP
• Budget amounts in applications cannot
exceed 20% of amount shown in TIP;
Otherwise project goes back through MPO
process
TIP/STIP TABLE
Common Planning Pitfalls
• Projects are in prior or future program year
• ALI’s do not match scope in grant application
• Documentation not attached in Team
GRANT DEVELOPMENT
OTHER USEFUL THINGS
● Operating Assistance
- Available to UZA’s with < 200,000 in population.
- Fuel, wages, and other management-related activities.
- See FTA C9030.1D (III-19 to III-22) and OMB Circular A-87.
● Preventive Maintenance
- All activities, supplies, materials, labor, services, to preserve
assets.
- See FTA C 9030.1D, Appendix E.
● ADA/CAA Equipment
- 90% federal share for ADA/CAA vehicle-related equipment if
itemized.
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GRANT DEVELOPMENT
OTHER USEFUL THINGS
● Transportation Development Credits (Toll Revenue Credits):
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Can be used for local share
Require letter from State DOT
TEAM total cost and FTA share is the same 100% amount
● Transit Enhancements – 1% UZA apportionment minimum
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Bus Shelters
Landscaping
Public Art
Pedestrian Access/Bicycle Access
Signage
● Attachments in TEAM:
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STIP/STIP Amendment Page(s) w/Projects Listed
MIDOT STIP Cover Page or Amendment Request Letter
FTA STIP/STIP Amendment Approval Letter
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GRANT DEVELOPMENT
OTHER USEFUL THINGS
● Pre-Award Authority
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“…permits a grantee to incur costs on an eligible transit capital, operating,
planning or administrative project without prejudice to possible future
Federal participation in the cost of the project.”
Currently available for all formula programs through FY2010
Expires when funds lapse.
Must meet all federal requirements:
 Planning projects must be in UPWP
 JARC/New Freedom
- Completion of Coordinated Plan
- Project Competitively Selected
 Section 5309/Other Discretionary Programs – Appropriation of Funds
 Capital Project Implementation – Written FTA Categorical Exclusion
Concurrence
- Property Acquisition
- Demolition
- Construction
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Important FTA Publications
for Pre Award Activities
• FTA Circular 5010.1D (Grant Mgt.)
• FTA Circular 9030.1D (Urbanized Area
Formula Program)
• FTA Circular 9300.1B (Capital Investment
Program)
• http://www.fta.dot.gov/laws/leg_reg_ci
rculars_guidance.html
FTA Program Management and Oversight
(PMO)
Sharletha Johnson
PMO activities and role in Grant
Management
Program Management and Oversight
Post Award/Grant Management Activities
• Grant Award and Implementation
– Technical Reviews and Concurrence For Specified Projects
– Federal Financial Report (FFR)
– Milestone/Progress Report (MPR)
• Grant Modifications
– Budget Revisions
• No change in the grantee purpose, scope codes, and Federal funding
– Amendments
• A change in the scope or an addition of Federal funds to an existing grant
• Grant Closeout
• All $’s expended from the grant
• No activity within the last 18 months (inactive)
Reference: FTA Circular 5010.1D
Program Management and Oversight
• Technical Assistance With Periodic Reports
– Federal Financial Report (FFR) Review
– Milestone/Progress Report (MPR) Review
– ARRA Reporting:
• ARRA 1201-C Periodic Grantee Report
• ARRA 1512-C Quarterly Grantee Report (OMB
Requirement)
The FTA will consider non-compliance to the reporting
requirements a violation of the award agreement
Note: All reporting is done in TEAM except for ARRA 1512C which is done using the Online Reporting Tool:
www.federalreporting.gov
Program Management and Oversight
Oversight Programs and Activities
• FTA Oversight Review Program includes 15 review
areas:
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a. Grant Oversight Assessment
b. Triennial Review
c. State Management Review
d. State Safety Oversight Program
e. Planning Certification Review
f. Financial Management Reviews
g. Procurement System Review
h. Americans with Disabilities Act (ADA)
i. Title VI
j. Disadvantaged Business Enterprise (DBE)
k. Equal Employment Opportunity (EEO)
l. Safety and Security Industry Guidance
m. Drug and Alcohol Audit
n. Research and Cooperative Agreements
o. Oversight Guidance
Program Management and Oversight
Oversight Programs and Activities
• Annual Grantee Oversight Assessment
– Identify the potential risk that the grantee poses to
the overall integrity of FTA programs.
– Results of the risk assessment are used to identify
grantees that pose relatively greater risk and where to
focus oversight resources.
– The risk assessment process may result in an
oversight review.
• On-Site Reviews (6)
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Triennial Reviews
Financial Management Oversight (FMO)
Procurement System Reviews (PSR)
State Management Reviews (SMR)
Safety and Security Oversight (SSO)
Civil Rights
Triennial Reviews
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Mandated by Congressional Law
Important Performance Measure for FTA
Urbanized Area Formula Program (Section 5307) grantees
Technical Assistance Added to the Program
• 24 Areas of Review (including new area on ARRA)
• Findings Summary
– Diligent; Attentive; Knowledgeable
– Average number of findings is 6
– Key Concerns – Maintenance; ADA; Charter; Drug &
Alcohol
• Keys to a Successful Review
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Start and maintain a file
Study the previous review
Flexible schedule to include agency staff
Consultant as a resource of idea when on-site
Follow-up on findings before the due date
• Michigan Reviews in 2010 (Battle Creek Transit, City of
Holland, Muskegon Area Transit, Grand Rapids, City of
Jackson, MI)
Procurement System Reviews (PSR)
1. The Federal Transit Administration (FTA) has a vested
interest in assisting grantees to maintain efficient and
effective procurement systems…..
2. The objectives of the PSR are,
– To encourage and facilitate improved grantee
procurement operations,
– Foster the use of industry best practices, and
– Assess the grantee’s compliance with Federal
procurement requirements, specifically the
requirements of FTA Circular 4220.1F and applicable
statutory and administrative requirements.
3. The PSR is designed to be a customer-oriented review
that emphasizes mutual respect between FTA and the
grantee.
Procurement System Reviews (PSR)
• The PSR consists of three phases:
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Assessment Phase
Contract Review Phase
Reporting Phase
• Michigan PSRs in 2010
– Flint and MDOT
Procurement Resources:
- Procurement Systems Review Guide
- Best Practices Procurement Manual
(http://fta.dot.gov/funding/thirdpartyprocurement/gra
nts_financing_6037.html)
Important FTA Publications
for Post Award Activities
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FTA Circular 5010.1D (Grant Management)
FTA Circular 4220.1F (Procurement)
Best Practices Procurement Manual (BPPM)
PMO Standards for Hiring Real Estate Consultant
Periodical Reporting: www.federalreporting.gov
Reporting of Waste, Fraud and Abuse
– www.oig.dot.gov
– 1-800-424-9071
– [email protected]
FTA and Transit Training Resources
• National Transit Institute
– www.ntionline.org
• FTA Online Submit A Question Tool:
www.fta.dot.gov
• FTA Regional Workshops (contact Region V)
– Triennial Review (Feb/March of every fiscal year)
– Procurement Systems Review (Upcoming workshop
in November 2010)
– State Management Review
– Financial Management Review
Contact Information
FTA Region V Michigan Team
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Stewart Mckenzie
(312) 886-1621
Angelica Salgado
(312) 886-1621
Eric Allen
(312) 353-3855
Sharletha Johnson
(312) 353-3869
Rotimi Ogunsuyi
(312) 353-4070
Email: [email protected]